The Financial Industry Regulatory Authority Inc. has barred James Blake Daughtry, a broker with Kestra Investment Services in Dothan, Ala., for failing to cooperate with a Finra inquiry into his conduct.
In a letter of acceptance, waiver and consent, Finra said that during a telephone call between staff and Mr. Daughtry's counsel March 3, Mr. Daughtry acknowledged that he received Finra’s request and said that he would not appear for on-the-record testimony at any time.
Finra was conducting an investigation into potentially fraudulent and unauthorized transactions in several of Mr. Daughtry’s customers’ accounts.
Mr. Daughtry began his securities career at Liberty Securities in 1999 and worked at five firms before affiliating with Kestra in 2015.
Integrated Partners is adding a mother-son tandem to its network in Missouri as Kestra onboards a father-son advisor duo from UBS.
Futures indicate stocks will build on Tuesday's rally.
Cost of living still tops concerns about negative impacts on personal finances
Financial advisors remain vital allies even as DIY investing grows
A trade deal would mean significant cut in tariffs but 'it wont be zero'.
RIAs face rising regulatory pressure in 2025. Forward-looking firms are responding with embedded technology, not more paperwork.
As inheritances are set to reshape client portfolios and next-gen heirs demand digital-first experiences, firms are retooling their wealth tech stacks and succession models in real time.
